179 Enforcement Actions in the U.S. over past 30 days

-

FINRA enforcements increased 21% over the past 30 days

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FTC issued enforcements: $8,726,254.27 over the past 30 days

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165 Final Rules go into effect in the next 30 days

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55 Mortgage Lending docs published in the last 7 days

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5330 docs with 12540 extracted obligations from the last 7 days

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108 new Proposed and Final Rules were published in the past 7 days

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11634 new docs in pro.compliance.ai within the last 7 days

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Download the Q3 Enforcement eBook now!

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Join us Feb 4th at Comply 2021

-

Agency Report Nov 30 - Dec 07

 
 
CFPB
 
 
 
 
 
 

Complaint: LendUp Loans, LLC Complaint… | 12/04/2020

Press release: Consumer Financial Protection Bureau Sues LendUp Loans, LLC for Allege… | 12/04/2020

Blog: CFPB Ombudsman=C3=A2=E2=82=AC=E2=84=A2s Office 2020 Annual Report… | 12/03/2020

Final Rule: Advisory Opinions Policy… | 12/03/2020

Blog: Help your loved ones avoid scams this holiday season… | 12/02/2020

Complaint: DMB Financial, LLC. Complaint… | 12/01/2020

Press release: Consumer Financial Protection Bureau Sues DMB Financial, LLC for Alleg… | 12/01/2020

Press release: Consumer Financial Protection Bureau Issues No Action Letter to Facili… | 11/30/2020

Final Rule: Debt Collection Practices (Regulation F)… | 11/30/2020

Press release: Consumer Financial Protection Bureau Finalizes Advisory Opinions Polic… | 11/30/2020

 
 
 
CFTC
 
 
 
 
 
 

Final Rule: Exemption From Registration for Certain Foreign Intermediaries… | 12/07/2020

Agency Update: 20-42… | 12/04/2020

Notice: Sunshine Act Meetings… | 12/04/2020

News: CFTC Orders Vitol Inc. to Pay $95.7 Million for Corruption-Based Fraud… | 12/03/2020

Enforcement: Order: Vitol Inc…. | 12/03/2020

Notice: Agency Information Collection Activities: Proposed Revised Collection,… | 12/02/2020

Notice: Agency Information Collection Activities: Proposed Revised Collection,… | 12/02/2020

Enforcement: FY 2020 Division of Enforcement Annual Report… | 12/01/2020

News: CFTC Division of Enforcement Issues Annual Report… | 12/01/2020

Enforcement: FY2020 Division of Enforcement Annual Report… | 12/01/2020

 
 
 
DOJ
 
 
 
 

Notice: Notice of Lodging of Proposed Consent Decree Under the… | 12/04/2020

Agency Update: OPDAT and Latin American Partners Share Best Practices in Combating Tr… | 12/03/2020

Notice: Notice of Lodging of Proposed Modification to Consent Decree Under The… | 12/02/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 12/01/2020

Final Rule: Manner of Federal Executions… | 12/01/2020

Agency Update: At the Intersection of Domestic Violence and Firearms is the Enforceme… | 12/01/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Comprehensive E… | 12/01/2020

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 12/07/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 12/07/2020

Notice: Notice of availability; request for comments…. | 12/07/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 12/01/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 12/01/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 12/01/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 12/01/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 12/01/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 12/01/2020

 
 
 
EBSA
 
 
 
 

News: U.S. Department of Labor Obtains Consent Order and Judgment to Restore… | 12/02/2020

News: U.S. Department of Labor Releases Advance Copies Of Form 5500 Series A… | 12/02/2020

 
 
 
EOP
 
 
 
 

Presidential Document: World AIDS Day, 2020… | 12/03/2020

Presidential Document: National Impaired Driving Prevention Month, 2020… | 12/03/2020

Presidential Document: Thanksgiving Day, 2020… | 12/02/2020

 
 
 
FDIC
 
 
 
 
 
 

Proposed Rule: Assessments, Amendments To Address the Temporary Deposit Insurance Ass… | 12/07/2020

Press Release: FDIC Issues List of Banks Examined for CRA Compliance — December 2020… | 12/04/2020

Press Release: FDIC Issues List of Banks Examined for CRA Compliance… | 12/04/2020

Speech: Statement by FDIC Chairman Jelena McWilliams on FSOC Annual Report… | 12/03/2020

Notice: Agency Information Collection Activities: Proposed Revision of Informa… | 12/02/2020

Final Rule: Temporary Asset Thresholds… | 12/02/2020

Financial Institution Letter: FIL-110-2020 – Revisions to the Consolidated Reports of Condition and … | 12/01/2020

Press Release: FDIC-Insured Institutions Reported Improved Profitability in Third Qua… | 12/01/2020

Press Release: FDIC-Insured Institutions Reported Improved Profitability in Third Qua… | 12/01/2020

Speech: Remarks by FDIC Chairman Jelena McWilliams and Director of the Divisio… | 12/01/2020

 
 
 
FINCEN
 
 
 
 

Notice: Agency Information Collection Activities; Proposed Renewal; Comment Re… | 12/07/2020

 
 
 
FINRA
 
 
 
 
 
 

AWCs (Letters of Acceptance, Waiver, and Consent): Joseph Gunnar & Co. LLC AWCs (Letters of Acceptance, Waiver, and Conse… | 12/04/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 12/04/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 12/04/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Kim Millman AWCs (Letters of Acceptance, Waiver, and Consent)… | 12/03/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Robert Halldin AWCs (Letters of Acceptance, Waiver, and Consent)… | 12/03/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Great American Investors, Inc. AWCs (Letters of Acceptance, Waiver, an… | 12/03/2020

Complaints: Wilfredo Felix Complaints… | 12/03/2020

Notices: Regulatory Notice 20-41 FINRA Amends Its Equity Trade Reporting Rules … | 12/02/2020

Notices: Regulatory Notice 20-41 FINRA Amends Its Equity Trade Reporting Rules … | 12/02/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Barclays Capital Inc. AWCs (Letters of Acceptance, Waiver, and Consent… | 12/01/2020

 
 
 
FRS
 
 
 
 
 
 
 
 

Consumer Affairs Letters: SR 20-28 / CA 20-14 Internal Appeals Process for Material Supervisory … | 12/04/2020

SR Letter: SR 20-28 / CA 20-14 Internal Appeals Process for Material Supervisory … | 12/04/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 12/04/2020

Speech: Technology and the Regulatory Agenda for Community Banking – Governor … | 12/04/2020

Press Release: Federal Reserve Board announces results from second round of bank stre… | 12/04/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 12/03/2020

Press Release: Federal Reserve Board announces members of its Insurance Policy Adviso… | 12/03/2020

Final Rule: Temporary Asset Thresholds… | 12/02/2020

Notice: Privacy Act of 1974; System of Records… | 12/01/2020

Press Release: Minutes of the Board’s discount rate meeting from October 5 through No… | 12/01/2020

 
 
 
FTC
 
 
 
 
 
 
 
 

Complaint: Administrative Part 3 Complaint (1.25 MB) Hackensack Meridian Health, … | 12/04/2020

Enforcement Order: [Proposed] Stipulated Order for Permanent Injunction and Monetary Judg… | 12/03/2020

News: FTC Challenges Hackensack Meridian Health, Inc.=C3=A2=E2=82=AC=E2=84=A2s Proposed Acquisiti… | 12/03/2020

Consumer Alert: Suboxone Settlement Products: Suboxone film… | 12/03/2020

News: FTC Staff Issues FY 2017 Report on Branded Drug Firms’ Patent Settleme… | 12/03/2020

News: FTC Takes Action against Second VoIP Service Provider for Facilitating… | 12/03/2020

Complaint: Complaint for Permanent Injunction and Other Equitable Relief (255.78 … | 12/03/2020

Event: Cmr. Wilson will be the keynote speaker at an event hosted by OECD… | 12/02/2020

Proposed Rule: Premerger Notification; Reporting and Waiting Period Requirements… | 12/01/2020

Proposed Rule: Premerger Notification; Reporting and Waiting Period Requirements… | 12/01/2020

 
 
 
Freddie
 
 
 
 

News: UCount Is Here: Bringing Greater Transparency to Annual Certification … | 12/07/2020

Bulletin: Bulletin 2020-45 Selling… | 12/02/2020

 
 
 
INT-BIS
 
 
 
 

Press Release: BIS, Swiss National Bank and SIX announce successful wholesale CBDC ex… | 12/03/2020

Press Release: Governors and Heads of Supervision commit to ongoing coordinated appro… | 11/30/2020

 
 
 
INT-EBA
 
 
 
 

Press Release: EBA publishes final draft technical standards on the treatment of non-… | 12/03/2020

News: EBA publishes final draft technical standards on the treatment of non-… | 12/02/2020

Press Release: The EBA reactivates its Guidelines on legislative and non-legislative … | 12/02/2020

News: The EBA reactivates its Guidelines on legislative and non-legislative … | 12/01/2020

 
 
 
INT-EC
 
 
 
 

News: The EU prepares for the end of LIBOR: the Commission welcomes the agre… | 11/30/2020

News: Joint November/December issue of newsletter is out!… | 11/30/2020

 
 
 
INT-FATF
 
 
 
 

Publication: FATF President speaks at annual Israel Money Laundering and Terror Fin… | 12/01/2020

Publication: Survey on enhancing cross-border payments… | 12/01/2020

 
 
 
INT-FSB
 
 
 
 

News: FSB Sub-Saharan Africa group discusses regional vulnerabilities and en… | 12/03/2020

 
 
 
INT-IOSCO
 
 
 
 

Consultation Report: CR03/2020 Market Data In The Secondary Equity Markets… | 12/03/2020

Media Release: IOSCO consults on issues and concerns regarding market data… | 12/03/2020

 
 
 
NCUA
 
 
 
 

Notice: Agency Information Collection Activities: Proposed Collection; Comment… | 12/07/2020

Proposed Rule: Capitalization of Interest in Connection With Loan Workouts and Modifi… | 12/04/2020

Notice: Sunshine Act: Notice of Agency Meeting… | 12/01/2020

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 12/03/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 12/01/2020

 
 
 
OCC
 
 
 
 
 
 

Proposed Rule: Community Reinvestment Act Regulations… | 12/04/2020

News Release: NR 2020-166 Project REACh Pledge Released to Promote Vitality of Minor… | 12/03/2020

News Release: NR 2020-167 Statement by the Acting Comptroller of the Currency Regard… | 12/03/2020

Bulletin: OCC 2020-107 Temporary Asset Thresholds : Interim Final Rule… | 12/02/2020

News Release: NR 2020-165 OCC Announces Several New Executives… | 12/02/2020

Final Rule: Temporary Asset Thresholds… | 12/02/2020

News Release: NR 2020-164 OCC Releases CRA Evaluations for 39 National Banks and Fed… | 12/01/2020

Bulletin: OCC 2020-106 Office of the Comptroller of the Currency Fees and Assess… | 12/01/2020

News Release: NR 2020-163 OCC Reduces 2021 Assessments on National Banks and Federal… | 12/01/2020

Bulletin: OCC 2020-104 Libor Transition : Joint Statement on U.S. Dollar Libor T… | 11/30/2020

 
 
 
OFAC
 
 
 
 
 
 

Notice: Notice of OFAC Sanctions Actions… | 12/07/2020

Notice: Notice of OFAC Sanctions Actions… | 12/07/2020

Notice: Notice of OFAC Sanctions Actions… | 12/07/2020

Financial Sanction: Non-Proliferation Designations; Iran-related Designations… | 12/03/2020

Press Release: Non-Proliferation Designations; Iran-related Designations — Treasury … | 12/03/2020

Financial Sanction: Counter Narcotics Designation, Designations Removals, and Designation … | 12/02/2020

Press Release: Counter Narcotics Designation, Designations Removals, and Designation … | 12/02/2020

Notice: Notice of OFAC Sanctions Actions… | 12/01/2020

Financial Sanction: Counter Narcotics Designations and Designations Updates… | 12/01/2020

Press Release: Counter Narcotics Designations and Designations Updates — Treasury Sa… | 12/01/2020

 
 
 
RHS
 
 
 
 

Final Rule: Guaranteed Rural Rental Housing Change in Initial Guarantee Fee and An… | 12/03/2020

 
 
 
SEC
 
 
 
 
 
 
 
 

Notice: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of … | 12/07/2020

Notice: Sunshine Act Meetings… | 12/07/2020

Notice: Self-Regulatory Organizations; The Depository Trust Company; Notice of… | 12/07/2020

Notice: Self-Regulatory Organizations; National Securities Clearing Corporatio… | 12/07/2020

Notice: Sunshine Act Meetings… | 12/07/2020

Notice: Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule C… | 12/07/2020

Notice: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Noti… | 12/07/2020

News: Statement on the Departure of Bill Hinman… | 12/04/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 12/04/2020

Enforcement: Rajesh Taneja… | 12/04/2020

 
 
 
TREAS
 
 
 
 
 
 

Proposed Rule: Patient Protection and Affordable Care Act; HHS Notice of Benefit and … | 12/04/2020

Press Release: Treasury Designates Entity Subordinate to Iran=C3=A2=E2=82=AC=E2=84=A2s Military Firm… | 12/03/2020

Notice: Agency Information Collection Activities; Proposed Collection; Comment… | 12/02/2020

Press Release: Treasury Sanctions Close Associate of Notorious Drug Trafficker Rafael… | 12/02/2020

Statements: Statement of Secretary Steven T. Mnuchin Department of the Treasury Be… | 12/01/2020

Press Release: Treasury Sanctions Network for Assisting Colombia=C3=A2=E2=82=AC=E2=84=A2s Clan del Golfo D… | 12/01/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 11/30/2020

Press Release: Treasury Sanctions CEIEC for Supporting the Illegitimate Maduro Regime… | 11/30/2020

Testimony: Statement of Secretary Steven T. Mnuchin Before the U.S. Senate Bankin… | 11/30/2020

Press Release: Treasury and Federal Reserve Board Announce Extension of Four Lending … | 11/30/2020

 
 
 
UK-BOE
 
 
 
 
 
 

News: Lyndon Nelson: Panellist at the Toronto Centre for Global Leadership … | 12/04/2020

News: Angus Moir: Panellist at the BIS Singapore Fintech Festival (16:20 hr… | 12/04/2020

News: Alex Brazier and Lee Foulger: Financial Stability Report Agency brief… | 12/04/2020

News: Some monetary policy options =E2=80=93 if more support is needed – speech by M… | 12/04/2020

Agency Update: Bank of England Weekly Report 2 December 2020… | 12/03/2020

News: The Bank of England’s supervision of financial market infrastructures … | 12/03/2020

Agency Update: Monthly Decision Maker Panel data – November 2020… | 12/03/2020

News: The fox and the hedgehog: preparing in a world of high risk and high u… | 12/03/2020

Agency Update: The Bank of England’s supervision of financial market infrastructures … | 12/03/2020

Weekly report: Bank of England Weekly Report 2 December 2020 — Further details about… | 12/03/2020

 
 
 
UK-CMA
 
 
 
 
 
 
 
 

CMA Case: TFL Ledertechnik / LANXESS Deutschland merger inquiry… | 12/04/2020

CMA Case: Crowdcube / Seedrs merger inquiry… | 12/04/2020

CMA Case: Breedon Group plc / Cemex Investments Limited merger inquiry… | 12/04/2020

News Story: CMA consults on Annual Plan 2021/22… | 12/03/2020

CMA Case: Funerals… | 12/03/2020

Html Publication: CMA Annual Plan consultation 2021/22… | 12/03/2020

Open Consultation: CMA Annual Plan consultation 2021/22… | 12/03/2020

CMA Case: Electric vehicle charging market study… | 12/02/2020

CMA Case: XPO Logistics / Kuehne + Nagel Drinkflow Logistics merger inquiry… | 12/02/2020

CMA Case: Adevinta / eBay merger inquiry… | 12/02/2020

 
 
 
UK-FCA
 
 
 
 

News: Update of position limits for certain commodity derivative contracts… | 12/07/2020

News: Update of position limits for certain commodity derivative contracts… | 12/07/2020

News: UK BONDS ADVISORY… | 12/04/2020

News: UK BONDS ADVISORY… | 12/04/2020

News: AIX Investment Group… | 12/04/2020

News: FR Savings… | 12/04/2020

News: On Move Ltd trading as Fixed Rate market UK Limited… | 12/04/2020

News: Arbuthnot Securities/Arbuthnot Latham Private Bank (clone of FCA autho… | 12/04/2020

News: Cutover plan for firms migrating to FCA FIRDS and FITRS after the Brex… | 12/04/2020

News: Cutover plan for firms migrating to FCA FIRDS and FITRS after the Brex… | 12/04/2020

 
 
 
UK-HMT
 
 
 
 
 
 
 
 

Open Consultation: Greenhouse gas removals: call for evidence… | 12/04/2020

Open Consultation: Insolvency changes for payment and electronic money institutions: cons… | 12/03/2020

Policy Paper: Financial Reporting Advisory Board annual report: 2019 to 2020… | 12/03/2020

Corporate Report: Financial Reporting Advisory Board minutes and associated papers: 18 J… | 12/03/2020

News Story: HM Treasury Appointment:1 December 2020… | 12/03/2020

Guidance: Disguised remuneration: independent loan charge review… | 12/03/2020

Research: UK official holdings of international reserves: November 2020… | 12/03/2020

Guidance: HM Treasury notice, 09/03/2017, Sudan (Reg 2017/401) – [PDF]… | 12/01/2020

Press Release: Prime Minister announces =C2=A31,000 Christmas grant for ‘wet-led pubs’… | 12/01/2020

Guidance: Latest HM Treasury notice, 01/12/2020, Sudan – [PDF]… | 12/01/2020

 
 
 
UK-ICO
 
 
 
 
 
 

News: ICO fines Lincolnshire mortgage broker =C2=A350,000 for sending thousands o… | 12/04/2020

Agency Update: OSL Financial Consultancy Limited… | 12/04/2020

Monetary penalties: OSL Financial Consultancy Limited — OSL Financial Consultancy Limited… | 12/04/2020

Decision Notice: Huntingdonshire District Council… | 11/30/2020

Decision Notice: Metropolitan Police Service… | 11/30/2020

Decision Notice: Stockton on Tees Borough Council… | 11/30/2020

Decision Notice: Metropolitan Police Service… | 11/30/2020

Decision Notice: The Buckinghamshire Grammar Schools… | 11/30/2020

 
 
 
UK-LSB
 
 
 
 

News: Improving the odds of a good outcome: tier restrictions and problem ga… | 12/02/2020

News: Improving the odds of a good outcome: tier restrictions and problem ga… | 12/02/2020

 
 
 
UK-PRA
 
 
 
 
 
 

Policy statement: Simplified Obligations for recovery planning… | 12/07/2020

Policy statement: Simplified Obligations for recovery planning – Policy Statement 25/20… | 12/07/2020

Consultation paper: Joint PRA and FCA Chapter ‘Clarifying our expectations for temporary, … | 12/04/2020

Statement: Statement regarding supervisory cooperation on operational resilience… | 12/03/2020

Consultation paper: PRA fees and levies: Holding company regulatory transaction fees – Con… | 12/02/2020

Statement of policy: The PRA’s approach to the publication of Solvency II technical informa… | 12/02/2020

Statement of policy: The PRA’s approach to the publication of Solvency II technical informa… | 12/02/2020

Policy statement: Solvency II technical information: The PRA’s proposed approach to the … | 12/02/2020

Consultation paper: PRA fees and levies: Holding company regulatory transaction fees… | 12/02/2020

Policy statement: Solvency II technical information: The PRA’s proposed approach to the … | 12/02/2020

 
 
 
VA
 
 
 
 

Notice: Agency Information Collection Activity under OMB Review: Veteran/Servi… | 12/07/2020

Notice: Agency Information Collection Activity Under OMB Review: Expanded Acce… | 12/02/2020

Notice: Agency Information Collection Activity Under OMB Review: Chapter 31 Re… | 12/02/2020

Final Rule: Schedule for Rating Disabilities: Musculoskeletal System and Muscle In… | 11/30/2020

 

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